Wed, Apr 12, 2017

NFA and FINRA Provide Cybersecurity Guidance and Workshops

FINRA Announces Compliance Boot Camp

On May 3, 2017, FINRA will host a Compliance Bootcamp in New York City for its members and will provide guidance on cybersecurity. Specifically, the afternoon discussion will focus on: (i) effective practices to protect against cybersecurity threats; (ii) Outline resources available to help firms determine if their policies and procedures are accurate; and (iii) discuss case studies.

NFA Announces Cybersecurity Regulatory Workshop Sessions in New York City and Chicago

The NFA will hold Member Regulatory Workshop Sessions in New York City and Chicago in May 2017 to discuss: (i) NFA examination findings; (ii) cybersecurity expert panel; and (iii) regulatory obligations specific to cybersecurity.

NFA Updates its Compliance FAQs on Cybersecurity

The NFA updated its compliance frequently asked questions to provide guidance on Information Systems Security Programs (ISSP). Specifically the updates outline the NFA's expectations specific to employee training and whether a committee can approve your firm's ISSPs.

Jason Elmer, Managing Director at Duff & Phelps, within the Compliance and Regulatory Consulting practice, works closely with clients on developing customized compliance policies and procedures. 

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